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NEDY ASSASSINATION RECORDS A :
DER THE PRESIDENT JOHN F. KEN ~
[2025 RELEASE UN : |

[UNCLASSIFIED =O) gegitena C) CONsyeENTIAL §=—-«&)_secrer
ROUTING AND RECORD SHEET

H
House Select Committee on AsSassinations Request for
In.formation on 201 Criteri

FROM: oo cfta 3 —4-55-PH'T8
C/ISS i :
1D4124

28 February 1978
TO: (Officer etignction, room aureber, and
building)

Date

OFFICER'S | COMMENTS (Number each tomment to show from wham
namo roewasoto | ian | © whom. Drow @ Ine across Column otter each comment)
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28 February 1978 |

MEMORANDUM FOR: O/SA/DO/O |
Attention: Mr. Shepanck |

FROM: William F. Donnelly
Chief, Information Services Staff

; SUBJECT: House Select Committee on Assassinations
Request for Information on 201 Criteria (S)

i REFERENCE: OLC 78-0070/19, 23 February 1978

1. (S) With reference to the conversation of

27 February between Mr. Shepanek and Mr. Cleffi of ISS,

: attached are copies of DOHB 70-1-1, 15 November 1974,

! and an earlier version, CSHB 43-1-1 dated 15 February 1960.

i A close study of the list of questions submitted by the

: HSCA Staff has led us to conclude that the most complete
and effective way to respond would be by inviting the
Staff to review our regulation governing the criteria for
opening, maintaining, controlling and closing 201 files
by the Operations Directorate. A careful reading of the
regulation provides an answer to every question posed by
the Staff.

2. (S) The earlier version of the regulation is
included to reflect the situation as it existed in the
period of their primary concern (1958-1964). The later
version provides an expansion, clarification and refinement
of the earlier versions.

*

Wile 2. a

William F. Donnelly

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DOHB 70-1-1
CHAPTER Itt

15 November 1974

ANNEX B
THE 201 SYSTEM

Rescission: Annex B of Chapter III, CSHB 70-1-1; 27 October 1968

1. ENTRODUCTION

The 201 system provides a method for identifying a person of specific in-
terest to the Operations Directorate and for controling and filing all pertinent
information about that person. The system also provides a means for identifying
subjects of 201 files from various categories of information about them and for
producing lisits of 201 personalities according to those categories. Only a rela.
tively smal] number of personalities indexed are of sufficient interest to justify
opening a 201 dossier. These are normally subjects of extensive reporting and
CI investigation, prospective agents and sources, members of groups and organi-
zations of continuing target interest, or subjects on whom a volume of corre-
spondence has accumulated.

2 THE 20! SYSTEM

The principal features of the 201 system are:

a. The 201 Number: a unique number, i.e., 201-1234567, assigned to each
individual in the system to serve as identifying file number for reporting on that
individual.

b. The 201 Dossier: the official file containing the 201 opening form (Form

831) and all biographic reporting on and references to the individual, ie., per-

sonal history, current status, and prospects.

¢. The Master 201 Record: a machine record generated by the opening af
a 201 file. This record produces the master 201 reference for the Main Index and
stores the pertinent information which may later be retrieved’ for special listings.
d. Main Index Master 201 Reference: this reference, printed in reply to an
Index Search Request, is printed as illustrated below. When data are absent

within the record, s_cceeding data items or lines will be moved up and the ref-
erence consolidated. :

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3. Citizenship
4 Place of Birth
5. Occupation
6. Occupation Code
7. Text

Document Reference Data Croup

8. 261 Number :
9. Name Type Indicator
10. OI Codes

11. Record Date (year taly)
12. Reference

ISG Controt Information

B Date of Latest update of the record

M. STAR Index Record Number

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DOHB 70-1.)
CHAPTER III, ANNEX B

15 November 1974

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DOHB 70-1-1
CHAPTER Hf, ANNEX B

15 November 1974

e. OI Code: a two letter symbol used in conjunction with the 201 per-
sonality records in the 201 system to record the association of an individual
with organizations or activities of operational interest. OI codes cover intelli-
gence and security service affiliation, whether staff or agent, er known or
suspect, as well as activities of DDO interest. There are two categories of OI
codes for use by components:

(1) general OI codes (Attachment 4)

(2) OI codes assigned to a specific component for intelligence services
or other specific organizations.

A component may request an OI code be established by submitting a mem-
orandum to the DDO/RMO through the component Records Management
Officer.

A 20] personality may be assigned two OI codes. An OI code may be assigned
when the 201 Personality File Action Request (Form §31) is initiated (see
paragraph 3b below) by filling in Box 13 or a code may be assigned or added
ata later date by a Form 83] amendment.

The 202 system has the capability of producing machine listings of 201
personalities by OI codes. For example, if an Ol code has been opencd for the
security service of a certain country a listing may be compiled of all members
of that service. .

f. 201 Machine Lists: produced from the mechanized 201 Index, based on
names or other identifying information of personalities on whom 201 dossiers
exist.

3. OPENING A 20] DOSSIER

a. Ceneral

The opening of a 201 dossier is the prerogative of an operational com- ‘
ponent, in coordination with the Information Services Group. An opening creates
a master 201 record. Changes to the master record and the occasional closing
of a 201 dossier are controlled jointly by the desks and 1SG. 201 dossiers may be >
opened on persons who meet the carding criteria described in Chapter [1 of this
handbook, when there is a reasonable expectation that additional information
will be acquired and filed in such a dossier. Generally dossiers are opened on ‘
persons about whom counterintelligence information is being reported, and per-
sons of operational interest to the Operations Directorate, specifically those:
persons for whom provisional operational approva!s and operational approvals"
are requested (see exception below). 201 files are not to be opened on staff -
A employees, staff agents and most categories of contract employees. Files on

.

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DOHB 70-1-1
CHAPTER III, ANNEX B

15 November 1974

persons who are only of local interest to a field station or Headquarters desk ;
and on whom no DDO records correspondence exists are not a part of the DDO j
records systém and are to be maintained by that unit. Some desks levy require- |
ments on ISG for automatic 201 openings on certain categories of persons whose .
names appear in incoming dispatches. These are listed in Attachment 2. 201
dossiers should be opened in the following categories:

(1) Subjects of provisional operational approval and operational ap-
proval requests. However, a file need not be opened when a POA is requested
for persons being trained for a foreign liaison service and who are of opera-
tional interest for training purposes only.

(2) Persons for whom the field requests a 201 opening.

(3) MHFIXTURE personalities: bonafide diplomats of other than
denied area countries, in close association with staff personnel.

(4) Subjects of a Personal Record Questionnaire Part I.

(5) Persons on whom a Main Index search reveals information in five
or more documents (see DOI 70-20).

(6) Subjects of Interagency Source Register memoranda from LSN/
ISR (opened only by IP/RMS).

b. Requesting 2 201 File Opening

Headqimrters desks may open a 201 file by filling out and submitting
a 201 Personality File Action Request (Form 831) to the Records Main-
tenance Section (I1P/RMS). Form 831 is also used to create or amend the
master 201 record and 201 machine listings and to register the assign-
ment of a cryptonym to a 201 personality. Attachment 3 consists of sample
201 Personality File Action Requests for opening and amending 201's. A field
station may request the opening of a 201 file by writing £01- in the Head-
quarters file or cross-reference box on the dispatch form and/or after the
subject’s name in the body of the dispatch. A telepouch request for a 201 opening
is made by indicating 201- in the file number line. A cable request is made by
placing 201- after the term “File” on the last line of the transmission. IP/AN
will open 201 files as requested by dispatch or telepouch but it is the responsi-
bility of the desk to respond to cable requests. Field stations are notified of
201 openings through receipt of the field master 20) record.

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DOHB 70-1-1
CHAPTER Ill, ANNEX B

15 November 1974

4. CONTENTS OF THE DOSSIER

Information about a 201 personality should he filed or cross-referenced into
his dossier. When additional information is discovered on a 2U1 subject through
a name trace or other process, i.e, review of predecessor documents, it must
be consolidated into his personality dowsier. See DO! 70-20 for consolidation
procedures.

Material which is filed in the dossier includes but is not limited .to:
a. 201 Tersonality File Action Request (Form 831).

b. Biographic information including photographs, fingerprints, and
handwriting samples.

2 c. Personal Record Questionnaire Parts I and I.

d. Operational and other security approvals.
e. Name check replies, requests, clearances, and approvals.
f. Acknowledgement of pseudonym.
g- 201 personality assessments and evaluations.
4 . ( h. Copy of contract and termination papers.
. & Secrecy agreement.
* j. Agent Duty Status Report.
ye Training and evaluation.
“27 1, SCSWIRL report.
m. Newspaper clippings.
n. Any information which helps provide a better understanding of the
subject and our interest in him; this may include operational reporting.
5. MAINTENANCE OF 201 DOSSIERS

The 201 personality dossier contains, in document date order, papers which
have been made a part of the Central Records System as well as those which
have not. Record documents may range from newspaper or magazine articles
on the subject to finance and other administrative papers.

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DOHB 70-1-1
CHAPTER Ul, ANNEX B

1S November 1974

a. Purging

Purging a 201 dossier is the responsibility of the desk officer. It requires
discrimination in recognizing operationally useful material, rather than the
simple distinction between official and unofficial papers; it will therefore take
place under the supervision of a Records Officer. Purging should be done
periodically. A 201 dossier being forwarded to Central Files for retention should

/ be purged. A 201 dossier should be purged of the following:

(1) Duplicate material, i.e, exact copy(s) of a document.

(2) Name trace form (Form 362) unless it has been the basis for
the opening. .

(3) All abstract slips.
(4) All document restriction notices (Form 1884).

(5) The disseminated version
a copy of the raw report is contained
then must be transferred to the first

of positive intelligence information if
in the 201 file; the Gissemination number
page of the raw report.

(6) Routing slips, routing and record sheets (Form 610) and dispatch
cover sheets unless there are temarks such as coordinations or comments.

(7) Record copy documents which only repeat substantive information
contained in other documents in the file; authorization for destruction is
by the Records Officer,

(8) Top Secret documents are not to be retained in a 201 dossier
a forwarded to Central Files; the document must be downgraded for retention

. in the 901 dossier. To downgrade a Top Secret document, an authorized
, officer in the origi

(9) Deferred documents (see 5b(2)).
b. Maintenance Procedures

(1) All material in a 201 dossier wil! be filed in document date order.
In the case of document attachments which have been classified into a 201

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DOH 70-1-1
CHAPTER Hl, ANNEX B

15 November 1974

dossier and separated from the basic document by the assignment of a slash
number, the attachment will be filed by the date of the basic document.

(2) Deferred documents wiil not be filed in a 201 dossier. If they are
to be retained in the dossier they should be sent to IP; RMS for classification
into that 201.

(3) Field index cards (held by some desks) and area desk cards may
be retained in the 201 as part of a consolidation procedure. These cards
should be mounted on a full-size sheet of paper for filing in the 201.

(4) A 201 dossier previously opened on a person who becomes a staff
o employee and which contains Record Copy documents will be restricted to
the ISG/DIP unless the desk retains the restriction. The dossier should be

closed if there are no Record Copy documents in it.

(5) A 201 opened in pseudonym should be consolidated into the true
name 201 if one exists or converted to the true name.

(6) Field and duplicate (shadow) 201 files no longer of active interest
should be incorporated into the official 201 after the duplicate material
has been purged by the desk officer and the remaining information classified
to that 201 by the Analysis Section (IP/AN ).

(7) Any document with a predecessor organization cover sheet or an
OPC (Office of Policy Coordination) cover sheet from the Archives and
Disposition Section (IP/ARD) must be returned to IP/ARD for processing
to the 201.

(8) Desk memoranda (with or without a document source number)
containing substantive or derogatory information on the subject of the 201 .
shoutd be sent to IP/AN to be classified officially into the 201 file.

(9) An attachment which should be separated from its basic cocument
for inclusion in a 201 personality dossier will be forwarded with the basic
document to IP/AN for processing into the 201.

(10) To retain the P&L, RYBAT, or KAPOK sensitivity of a document
remaining in a 201 dossier being retired to Central Files, place that document
in an envelope sealed with black tape (see DOI 70-17). Any RYBAT, P&L,
or KAPOK document sent to Central Files not in a black-taped envelope will
automatically be handled as desensitized. A black-taped envelope may con-
tain only one document and must be filed in chronolocical order within the
file. If there are numerous documents cf this type the desk officer may black-

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$ tape the entire dossier rather than individual documents (see DOI 70-10).
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DOHB 70-1-1
CHAPTER III, ANNEX B

15 November 1974

“* — Black-taped dossiers or dossiers with black-taped documents will be
. handled as restricted dossiers.

(11) An inactive 201 dossier or an inactive volume of a large 201
dossier on permanent charge should be -returned to Central Files under a
Routing and Record Shcet with the notation shown below.

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DOHB 70-1-1
CHAPTER UI, ANNEX B

15 November 1974

6. 201 DOSSIER CHARGES

A 201 dossier may be kept on permanent charge at the desk during any
period of active interest. If the dossier is transferred to another desk, the desk
officer who is transferring the dossier must notify Central Files of the transfer,
Central Files will then send the Notice of Transfer of Document or File Account-
ability (Form 2977) to the new action desk officer.

s

CONFIDENTIAL

{whee Gieted Fey

ROTICE OF TRANSFER OF DOCUMENT 08 FILE ACCOUATABILITY

Tate is to cotiry you that sccountebility for the document(s) and/or tite(s) cized
below bas been transferred to yu by?

peed trees Si rr

Aczorsirgly, I?*s recorde now reflect you 6s the custodian, Please coxtact IP/Piles,

Ext. 4362, if you Lave any qcestions regerdirg this traasfer.

SST 977 ore coecsoas costvecs

CORFIOENTIAL

The new action desk officer must then fill out a 201 Personality File Action
Request (Form 813) to change the action desk designation to insure that the
201 personality will be included in the Headquarters and field machine listings
for his component. . .

7. RESTRICTED DOSSIERS

a. Access to a sensitive 201 dossier may be restricted by holding the file at the

v
desk or placing it on restriction in Central Files.

(1) The dossier may be restricted by checking-Box 2 on the 201
Personality File Action Request (Form $31) when the file is opened.

265

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retumed to Central Files for rctentiun, a File Restriction Notice (Form
2021) must accompany the dossier.)

(3) The dossier may be restricted and held in Central Files by sub-
mitting a File Restriction Notice (Form 2021).

CORFIDENTIAL

(hen wiltee fe)

« Yo restrict a file, couplate Geetion A (sig-ature of 8.0. cot
necessary).

. To resove @ restriction, corplete Section B (2.0. signature
necessary).

Sa=cLs
VESURITT TO: (Use country or noa-country cote mober. See CSI 73-28)
SEITELS TO BY:

cacamy:; “Date:

2h. pore sta? CONFIOERTIAL

b. Access to a restricted dossier located in Central Files is limited to the
personnel of the restricting desk or persons authorized by that desk, Any request
for the charge of a restricted dossier or any document within a restricted dossier
held in Central Files will be forwarded with the entire dossier and a multiple.
routed cover sheet to the restricting desk. This desk may then forward the file
to the requester or deny the request and return the dossier to Central Files. The
desk will notify the requester of a denial.

e. Anyone requesting a restricted dossier, or a document within a restricted
dessier, .permanently or temporarily charged | to a desk, will be referred to that
desk by Central Files.

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DOHB 70-1-1 -
- oe : CHAPTER HI, ANNEX B
15 November 1974
. (2) The dossier may be restricted by holding it on permanent charge
from Central Files. (Note: To maintain the restriction of a dossier being
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8. REQUESTS FOR INFORMATION ON’ 901 PERSONALITIES

The Automated Index Section (EP/AIS) will provide the identity of the
subject cf a £01 number unless the 201 file is restricted, in which case the
requester will be referred to the restricting desk. .

j IP/AIS will also provide the 201 number assigned to a name, unless the 201
FA: -file is restricted, or state that there is no 201 number assigned. Requesters should
ee supply identifying information whenever available for each name submitted,

Requests pertaining to five or fewer names or numbers may be made by
telephone by calling the IP/AIS red line extension; IP/AIS will provide the .
information by retum call to the zequester’s extension as listed in the Badge
Table. Requests for more than five names or numbers must be listed and sent
by tube or courier to IP/AIS; 1P/AIS will reply by return mail.

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9. 201 DOSSIER CANCELLATION

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~)

A 201 file may be authorized for cancellation by a Records Officer, after
appropriate coordination. The file should be forwarded to IP/RMS which will
destroy the folder and the cards leading to it and will remove the name and
number from machine lists. Any Record Copy document contained in the folder
will be reclassified to another appropriate file or sent to the Destruction Unit
(IP/DU) as directed by the desk Records Officer.

™

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10. 201 MACHINE LISTINGS

Ta Seectyety

Machine listings provide field stations and Headquarters desks with names

and 201 numbers in the requester’s particular geographic or functional area of

_ . interest. If a component wishes to exclude a sensitive 201 personality from its

Vv alphabetic, numeric, and cryptonym stings, this may be done when opening

the 201 or Jater by « 201 amendment. On the 201 Personality File Action Request

- (Form 831) leave the country of location (Box 15) and interest desk (Box 16)

blank, use the non-country code SX in the action box (Box 14), and indicate

permanent charge to the responsible desk. The only listing which will include the

20! number is the IP/201 record for the Vital Records program. 201 listings are
categorized as standard or nonstandard and as scheduled or special.

a

yon”

*.8 9.

2 Standard Listings

___ Issued semi-annually to Headquarters and the field: based on a component's
interest as indicated in the “Action Desk,” “Country of Location,” and “Interest

27

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. . DOHB 70-1-1
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. ; . . 15 November 1974
. Desk” blocks or the 201 Personality File Action Request (Form 831). The
standard listings available are: .
“ "" (1) Alphabetical by surname, leading to a 201 number, : :
(2) Alphabetical by given name, leading to a 201 number; .
. (3) Alphabetical by cryptonym, leading to a 201 number; oe
. (4) Numerical, leading to a surname; io
an _ (5) Numerical, leading to a cryptonym.

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. DOHB 70-1-1
CHAPTER Hl, ANNEX B

15 November 1974

All standard listings are cumulative; previous editions must be destroyed
upon receipt of current editions. These listings are by their very nature extremely
sensitive compilations of information and must be given every possible safeguard.

b. Non-Standard Listings

Based on one or more of the following selection criteria:
, (1) Country of location ;
(2) OI codes (organization and/or intelligence affiliation)
(3) Citizenship
(4) Year of birth (plus or minus a given number of ycars)
(5) Occupation.

These selection criteria may be used singly or in combinations. For example,
a user could obtain a list of all 201 personalities who have been assigned the
OI code of XX or codes of XX, XY, or XZ. A 201 personality list could also be
produced of all persons who were born in Germany between the years 1915
and 1920, with the occupition computer specialist, who are now citizens of the
United States, located in Mexico, and who had been assigned the Ol code AA.
Note however that the listing would contain only those personalities with an
OI code AA. Those persoralities with an OI code other than AA and those
with no OI code would be excluded. The requester could however ask that
persons who have not been assigned an OI code also be included. Note also
that when retrieving lists based on occupation, the listing will be only as specific
as the occupation code (Attachment 1). The occupation code for a courier
covers only a documented courier. Some occupation codes cover more than one
occupation. For example, the occupation code CRAF covers those who practice
some trade or manual ocez pation, ie, carpenters, bricklayers, painters, mechanics
and electricians. If a list is requested for electricians, all others in this category
will be included in the printout. These non-standard hstings may be sorted
_(arranged) according to any, but not more than three, of the following keywords:

(a) Sumame

(b) Given name .

(c) Date of birth : woe TU CTL Te ee
(d) Country of birth . . ; 7 -
(e) Citizenship : . Dee
(f) OI code coe me te

(g) Location

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15 November 1974

’ alphabetically by surname within Of codes for given countries of location.
Because two OI codes may be listed for cach personality, those names with two
OL codes would be listed twice.

c. Scheduled Listings
Standard and non-standard listings printed semiannually.
d. Special Listings

Unscheduled, usually non-standard, listings produced on a one time basis
in response to special operational requirements.

e. Request for Listings
All requests for standard or non-standard alphabetical and numerical 201

listings for Headquarters and the field, for changes in periodic listings, and for
information on the 201 machine list system should be made to the component

Records Management Officer.
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DOHB 70-1-1 ¢
CHAPTER HI, ANNEX B : . : |
“Sorts can be made within sorts. For example, 201 personalities may be sorted

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DOHB 70-1-L
CHAPTER Hl, ANNEX B
Attachment 2

15 November 1974

AUTOMATIC 201 DOSSIER OPENINGS

Page

Note: 201 files will be opened automatically by IP/AN oa the following cate-
gories of people.

or

rr}

}. Arab Republic of Egypt (ARE)
a. Diplomats with rank of third secretary or above.

b. Military attaches and assistant military attaches.
c. Intelligence officers of the General Intelligence Department (GID).

(Prior to opening of an ARE 201 file, check with NE/E foz correct spelling
of name and additional biographic data.)

2 British Commoniealth
a. All positively identified members of MI-5 and M146, the British Intelligence
Services.
b. Al! positively identified members of the Irish Military Intelligence Service
(IMIS).
c. Canadian Communist Party officials on national or provincial levels and

olsicials of the Canadian Communist Party front organizations. Do not open
unless there is at least a date of birth given.

d. All members of the Security Service of the Royal Canadian Mounted
Police {RCMP-SS).

3. Cuba
‘Intelligence service employees (DSE, DGI).

+. Israel

a. All Israeli diplomats. C/NE/ISR should be indicated as the originating
office with CI/SP always indicated as the secondary office of interest.

b. Military attaches.

¢. Assistant military attaches.
& Identified intelligcnce officers.

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DOHB 70-1-1
CHAPTER III, ANNEX B
Attachment 2

15 November 1974

3. North Vietnain .
A'l diplomats and NFLSV (PRG) officials stationed abroad.

6. USSR

a. All Soviets assigned PCS to an official representational installation, ie,
embassy, consulate, commercial representation, national airline ( Aeroflot)
office, news media oftice.

b. All Sovicts assigned PCS to the United Nations in New York, Paris, Ceneva,
and Vienna.

c. Audio technicians, after coordination with SE desk concemed.

a Students who will be studying abroad for a full academic year at institutions
of higher learning.

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‘CLANDESTINE SERVICES ;
HANDBOOK NO. 43==1 15 February 1960
; me ANNEX B
~~ ” PERSONALITIES - 201 AND IDN NUMBERS

Cl investigation, prospective agents and sources, ard members of
groups and organizations of continuing target int

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| mo. 2. The 201 number serves 2 dual purpgse. Tt brings the files on
these personalities into the CS records system. A single number,
@.8.5 201 -123456, is assigned to each person, and a dossier controlled

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both as a file number and in place of

information or specific interest to warrant opening
mple: A considerable number of stations are concerned
. with the activities of Cuban exiles. Coverage of their movements,
-.- factions objectives can be assisted by furnishing all participating
stations/up-to -date listings containing information under the control

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So CHAPTER I, ANNEX B ;
CLANDESTINE SERVICES Deke |

: HANDBOOK NO. 43-t-r . 15 February 1960

of the Cuban desk on the dramatis personae. In addition to 201 per- :
sonalities, such lists should contain the names and identifying data.
of persons who should be kept track of, althou { they may only be of
tangential interest or on whom there may be }ittle or no cata other.

than that given in the listing itself.

4. To accommodate this type of requiyement in the 201 system, !

. identifiable personalities concerning whgym enough information is not . j
yet available to require the opening of 4 file may be assigned numbers :
of the following type but in the same oe

These are relabeled “201” if a fjle is opened. IDN numbers are car-
.  Yied with 201 numbers in appropriate general or special listings,

where they are identified by the ietter “I” in the “Type of Name” col-

umn, IDN numbers are not £5 file numbers. . =

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5. All 201 code numbers are assigned by RID at headquarters, ©
\  elther upon receipt of Form 831, or of a field dispatch. If a dispatch
is written about a pergonality not yet in the system, a 201 number for
it may be requested Simply by writing under headquarters file number
in the dispatch forpi as follows: a —_

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6. IDN numbers are assigned by RID at headquarters upon the
request of stations or desks which are developing special identification
programs within the 201 system. The field receives current notifica-
tion of new 201 openings and IDN numbers through the Field Index Card

Service.
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| . CHAPTER Il, ANNEX B
CLANDESTINE SERVICES
1 HANDBOOK NO. 43-t-+- 15 February 19

7, Stations or branches often are concerned with pe onalities

/ not of general CS concern. Files on these may be kept in any desired
: order. Should such personalities become of genergt CS interest,

they must be brought into the 201 system. .

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